TransferInstructionStatusReportV04

sese.011.001.04

Scope An executing party, for example, a transfer agent, sends the TransferInstructionStatusReport message to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received transfer instruction. Usage The TransferInstructionStatusReport message is used to report on the status of a transfer in or transfer out instruction. The reference of the transfer instruction for which the status is reported is identified in TransferReference. The message identification of the transfer instruction message in which the transfer instruction was conveyed may also be quoted in RelatedReference. One of the following statuses can be reported:

• an accepted status, or,
• an already executed status, or,
• a sent to next party status, or,
• a matched status, or,
• a settled status, or,
• a pending settlement status and the reason for the status, or,
• an unmatched status and the reason for the status, or,
• an in-repair status and the reason for the status, or,
• a rejected status and the reason for the status, or,
• a failed settlement status and the reason for the status, or,
• a cancelled status and the reason for the status, or,
• a cancelled status and the reason for the status, or,
• a cancellation pending status and the reason for the status.

Message Construction

Every ISO20022 message has at the highest level what we call ‘building blocks’. Because the message is constructed as immutable records, the association is by composition. Below you can see the relationship between the message and its constituent building blocks: For comparison, see the ISO20022 official specification

classDiagram
     direction LR
%% TransferInstructionStatusReportV04 recursion level 0 with max 0
TransferInstructionStatusReportV04 *-- "1..1" MessageIdentification1 : MessageIdentification
TransferInstructionStatusReportV04 *-- "0..1" AdditionalReference2 : CounterpartyReference
TransferInstructionStatusReportV04 *-- "0..1" IReferences40Choice : Reference
TransferInstructionStatusReportV04 *-- "1..1" TransferStatusAndReason3 : StatusReport
TransferInstructionStatusReportV04 *-- "0..1" MarketPracticeVersion1 : MarketPracticeVersion
TransferInstructionStatusReportV04 *-- "0..1" Extension1 : Extension
  

Now, we will zero-in one-by-one on each of these building blocks.

MessageIdentification building block

Reference that uniquely identifies a message from a business application standpoint. Identifies a message by a unique identifier and the date and time when the message was created by the sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% MessageIdentification1 recursion level 0 with max 1
class MessageIdentification1{
    Identification IsoMax35Text
    CreationDateTime IsoISODateTime
}
  

MessageIdentification1 members

CounterpartyReference building block

Unambiguous identification of the transfer allocated by the counterparty. References a related message or provides another reference, such as a pool reference, linking a set of messages. The party which issued the related reference may be the Sender of the referenced message or a party other than the Sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalReference2 recursion level 0 with max 1
class AdditionalReference2{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference2 *-- "0..1" IPartyIdentification1Choice : ReferenceIssuer
%% IPartyIdentification1Choice recursion level 1 with max 1
  

AdditionalReference2 members

Reference building block

Reference to the message or communication that was previously received. Choice of references used to reference a previous transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IReferences40Choice recursion level 0 with max 1
  

References40Choice members

StatusReport building block

Status of the transfer instruction. Information about the status of a transfer instruction and its reason. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransferStatusAndReason3 recursion level 0 with max 1
class TransferStatusAndReason3{
    MasterReference IsoMax35Text
    TransferReference IsoMax35Text
    ClientReference IsoMax35Text
    CancellationReference IsoMax35Text
    TradeDate IsoISODate
    SendOutDate IsoISODate
}
TransferStatusAndReason3 *-- "1..1" ITransferStatus1Choice : TransferStatus
TransferStatusAndReason3 *-- "0..1" IPartyIdentification2Choice : StatusInitiator
%% ITransferStatus1Choice recursion level 1 with max 1
%% IPartyIdentification2Choice recursion level 1 with max 1
  

TransferStatusAndReason3 members

MarketPracticeVersion building block

Identifies the market practice to which the message conforms. Identifies the implementation and version. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% MarketPracticeVersion1 recursion level 0 with max 1
class MarketPracticeVersion1{
    Name IsoMax35Text
    Date IsoISOYearMonth
    Number IsoMax35Text
}
  

MarketPracticeVersion1 members

Extension building block

Additional information that cannot be captured in the structured elements and/or any other specific block. Additional information that can not be captured in the structured fields and/or any other specific block. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Extension1 recursion level 0 with max 1
class Extension1{
    PlaceAndName IsoMax350Text
    Text IsoMax350Text
}
  

Extension1 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the TransferInstructionStatusReportV04 implementation follows a specific implementaiton pattern. First of all, TransferInstructionStatusReportV04 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, TransferInstructionStatusReportV04Document implements IOuterDocument. Because TransferInstructionStatusReportV04 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type TransferInstructionStatusReportV04.

classDiagram
    class IOuterRecord
    TransferInstructionStatusReportV04 --|> IOuterRecord : Implements
    TransferInstructionStatusReportV04Document --|> IOuterDocument~TransferInstructionStatusReportV04~ : Implements
    class IOuterDocument~TransferInstructionStatusReportV04~ {
        TransferInstructionStatusReportV04 Message
     }
  

Document wrapper for serialization

The only real purpose TransferInstructionStatusReportV04Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.011.001.04’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using TransferInstructionStatusReportV04.ToDocument() method. The returned TransferInstructionStatusReportV04Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    TransferInstructionStatusReportV04Document *-- TransferInstructionStatusReportV04 : Document
  

Sample of message format

This is an abbreviated version of what the message should look like.

<Document xmlns="urn:iso:std:iso:20022:tech:xsd:sese.011.001.04">
    <TrfInstrStsRpt>
        <MsgId>
            <!-- MessageIdentification inner content -->
        </MsgId>
        <CtrPtyRef>
            <!-- CounterpartyReference inner content -->
        </CtrPtyRef>
        <Ref>
            <!-- Reference inner content -->
        </Ref>
        <StsRpt>
            <!-- StatusReport inner content -->
        </StsRpt>
        <MktPrctcVrsn>
            <!-- MarketPracticeVersion inner content -->
        </MktPrctcVrsn>
        <Xtnsn>
            <!-- Extension inner content -->
        </Xtnsn>
    </TrfInstrStsRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_uh31cRXgEeOocOqSQt5Jbw"
  nextVersions="_Pm-PkR8OEeWpZde3LQh6dg"
  previousVersion="_ERzL8fpcEeCPwaG9zjUPNQ"
  name="TransferInstructionStatusReportV04"
  definition="Scope&#xD;&#xA;An executing party, for example, a transfer agent, sends the TransferInstructionStatusReport message to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received transfer instruction.&#xD;&#xA;Usage&#xD;&#xA;The TransferInstructionStatusReport message is used to report on the status of a transfer in or transfer out instruction. The reference of the transfer instruction for which the status is reported is identified in TransferReference.&#xD;&#xA;The message identification of the transfer instruction message in which the transfer instruction was conveyed may also be quoted in RelatedReference.&#xD;&#xA;One of the following statuses can be reported:&#xD;&#xA;- an accepted status, or,&#xD;&#xA;- an already executed status, or,&#xD;&#xA;- a sent to next party status, or,&#xD;&#xA;- a matched status, or,&#xD;&#xA;- a settled status, or,&#xD;&#xA;- a pending settlement status and the reason for the status, or,&#xD;&#xA;- an unmatched status and the reason for the status, or,&#xD;&#xA;- an in-repair status and the reason for the status, or,&#xD;&#xA;- a rejected status and the reason for the status, or,&#xD;&#xA;- a failed settlement status and the reason for the status, or,&#xD;&#xA;- a cancelled status and the reason for the status, or,&#xD;&#xA;- a cancelled status and the reason for the status, or,&#xD;&#xA;- a cancellation pending status and the reason for the status."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="TrfInstrStsRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_uh31cxXgEeOocOqSQt5Jbw"
    nextVersions="_Pm-Pkx8OEeWpZde3LQh6dg"
    previousVersion="_ERzL9fpcEeCPwaG9zjUPNQ"
    name="OtherReferenceRule"
    definition="Reference/OtherReference should be used to reference a transfer instruction or a transfer cancellation request 'message' sent in a proprietary way or used for a system reference. If Reference/OtherReference is present, Reference/OtherReference/MessageName must contain 'fax' or 'phone' or 'email', etc."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_uh31dRXgEeOocOqSQt5Jbw"
    nextVersions="_Pm-PlR8OEeWpZde3LQh6dg"
    previousVersion="_ERzL-fpcEeCPwaG9zjUPNQ"
    name="RelatedReferenceRule"
    definition="If Reference/RelatedReference/MessageName is present, it must start with sese.001, sese.002, sese.005, sese.006, sese.009, sese.012 or sese.014."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_uh31eRXgEeOocOqSQt5Jbw"
    nextVersions="_Pm-Plx8OEeWpZde3LQh6dg"
    previousVersion="_ERzMBfpcEeCPwaG9zjUPNQ"
    name="MessageIdentification"
    definition="Reference that uniquely identifies a message from a business application standpoint."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="MsgId"
    complexType="_Q7pG5Np-Ed-ak6NoX_4Aeg_-967008570" />
  <messageBuildingBlock
    xmi:id="_uh31exXgEeOocOqSQt5Jbw"
    nextVersions="_Pm-PmR8OEeWpZde3LQh6dg"
    previousVersion="_2sfrf_stEeCpzfkT8_hM5g"
    name="CounterpartyReference"
    definition="Unambiguous identification of the transfer allocated by the counterparty."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CtrPtyRef"
    complexType="_RNE1Kdp-Ed-ak6NoX_4Aeg_-577369889" />
  <messageBuildingBlock
    xmi:id="_iGSV0R6kEeOolf0-cMYhrw"
    nextVersions="_Pm-Pmx8OEeWpZde3LQh6dg"
    name="Reference"
    definition="Reference to the message or communication that was previously received."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="Ref"
    complexType="_SRMKUSGiEeONGJioFgcMDw" />
  <messageBuildingBlock
    xmi:id="_uh31gRXgEeOocOqSQt5Jbw"
    nextVersions="_Pm-PnR8OEeWpZde3LQh6dg"
    previousVersion="_ERzMEfpcEeCPwaG9zjUPNQ"
    name="StatusReport"
    definition="Status of the transfer instruction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StsRpt"
    complexType="_q-YLIRwjEeOIveEnnb_1-A" />
  <messageBuildingBlock
    xmi:id="_sRG_gRw9EeOIveEnnb_1-A"
    nextVersions="_Pm-Pnx8OEeWpZde3LQh6dg"
    name="MarketPracticeVersion"
    definition="Identifies the market practice to which the message conforms."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MktPrctcVrsn"
    complexType="_FaNY0RUVEeOIaq8KyCdIDQ" />
  <messageBuildingBlock
    xmi:id="_uh31gxXgEeOocOqSQt5Jbw"
    nextVersions="_Pm-PoR8OEeWpZde3LQh6dg"
    previousVersion="_ERzMFfpcEeCPwaG9zjUPNQ"
    name="Extension"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Xtnsn"
    complexType="_Q6vvCNp-Ed-ak6NoX_4Aeg_1503007069" />
  <messageDefinitionIdentifier
    businessArea="sese"
    messageFunctionality="011"
    flavour="001"
    version="04" />
</messageDefinition>

ISO Building Blocks

The following items are used as building blocks to construct this message.